. Seminars and conferences are other common ways to work together and share know-how. Having external individuals as representatives on sub-committees that review or formulate new regula- tions was another
ethics and due diligence guidelines on securities issuers applying for public offering. To strengthen enforcement efficiency, the SEC furthered its support for legislation of civil penalty and class action
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...
our promotion of overseas investments, strengthened enforcement on insider trading, share manipulation, executive misconducts, accounting frauds, false documentation of securities issuance and offering
to a penalty per established conditions. 3. To enhance efficiency in reorganization of debtors in general, the amended law facilitates them to lodge a petition for reorganization to the court without
Annual Report 2001 A N N U A L R E P O R T 2 0 0 1 S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N & O F F IC E O F T H E S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N , T H A IL A N D SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2001 SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lump...
to strengthen compliance Promote transparency in the initial public offering (IPO) share allocation process ● Required issuers to disclose their allocation methodology and clearly identify in the
three years or a fine not exceeding 300,000 baht or both and a further fine not exceeding 10,000 baht for every day during which the violation continues. For unlicensed securities business operated by S
all to understand and consider the issue as a priority. Those involved in the capital market must walk together into the right direction, share the same goal and be ready to turn to each other for
Section 125 of an imprisonment up to three years or a fine not exceeding 300,000 baht or both and a further fine not exceeding 10,000 baht for every day during which the violation continues. The SEC